Compliance Executive - #1624467

Our client, an award winning financial advice firm are looking for a Compliance Officer to support the growth of the business.

The Compliance Officer will help deliver the level of protection required by pre checking higher risk products recommended by the Advisers. The role holder will be responsible for accurately assessing, Pre-Approving, and ensuring compliance for all cases, and ensure that the firm meet the FCA requirements for advice in higher risk areas.

Role Responsibilities:

• Undertake the review of investment and pension cases requiring pre-sale approval with a view to clear and prompt feedback to Partners and paraplanners.


• Undertake reviews of past business cases as part of a formal past business review, if requested.


• Maintain accurate and consistent records, enhancing them as requested, of pre-sale approval cases, and past business reviews.


• To participate in appropriate company and departmental training, competence and development initiatives.


• To continuously meet, the regulator’s Fit & Proper requirements.


• In line with the service excellence programme, they will be expected to provide exceptional client service at all times. They will be required to keep up to date with all relevant organisational training and best practice to enable this standard to be met.

Key Skills and Responsibilities:

• Minimum Level 4 qualified


• Proven track record working as technical support within a retail financial advisory business


• Experience preparing and reviewing new business files


• Proven track record of communicating and building rapport efficiently and effectively with advisers and managers.


• Excellent verbal and written communication skills.


• Excellent attention to detail.


• Must be able to work on own initiative and within a team


• Good knowledge of Microsoft Office packages including Word, Excel, PowerPoint and Outlook.


• Commitment to pass basic internal financial services exams within 3 months of employment.

Desirable:

• Prior use of Intelligent Office (iO).


• R04 qualification (or committed to passing within the next 12 months of employment)


• Proven track record of new business review across all areas of investment business.


• Full driving licence and use of a car.


• Qualified to Level 6

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.